Manish Singh
Pune
Summary
Detail-driven Compliance Officer focused on maximizing company compliance with applicable laws and standards. Knowledgeable about internal controls, process evaluations and procedural reviews. Bringing more than 5 years of experience in banking industry.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Compliance Officer
SingX Cross Border Solutions
2022.06 - Current
- Maintained up-to-date knowledge of current and emerging compliance regulations.
- Effectively managed pre and post-transaction monitoring processes, ensuring regulatory compliance and promptly addressing any potential risks or violations identified.
- Monitored and evaluated training effectiveness through feedback mechanisms and assessments, continuously refining training materials and delivery methods for optimal impact.
- Prepared and submitted regulatory filings in timely manner.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility.
Risk
HDFC Bank
2021.10 - 2022.03
- KYC/AML Due Diligence: Performing the due diligence on new/existing clients.
- Screening: Risk assessment of existing or potential customers of organizations under the AML obligation.
- Reviewing and verifying customer data and documentation as part of the bank’s CDD and EDD processes.
- Analyzed large data sets to identify patterns indicative of fraudulent activity or other areas of concern.
Risk and Compliance Manager
IDFC First Bank
2020.09 - 2021.10
- Transaction Monitoring: Identifying and analyzing suspicious transactions and reporting the same internally.
- KYC/AML Due Diligence: Performing the due diligence on new/existing Clients, requesting the KYC information, and documentation, review,ing and verification of received documentation, and making an analytical risk assessment for new/existing clients.
- Team Management: Conducting meetings for setting up objectives and streamlining processes to ensure smooth functioning of operations.
- Reduced risk exposure for the company by identifying and addressing areas of noncompliance.
- Prepared records and data for regular audits.
Compliance Officer
ICICI Bank
2018.10 - 2020.09
- Responded to employee inquiries regarding compliance regulations and procedures.
- Risk Management: Depending on the risk score obtained, customers will be assigned low, medium, and high-risk ratings.
- KYC/AML Due Diligence: Performing the due diligence on new/existing clients.
- Reviewed all required AML/ KYC regulatory requirements for all clients and analyzed any transactions that appear unusual based on the customer's profile.
- Screening: Risk assessment of existing or potential customers of organizations under the AML obligation.
- EDD: Enhanced due diligence to be undertaken for all high-risk customers, like PEP, Trust accounts, NRI.
- Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
- Conducted periodic compliance audits and reviews to identify areas of improvement.
Practitioner-CRM Operations
Concentrix
2016.07 - 2016.10
- Manage customer’s accounts.
- Deal directly with customers by either Call or Email.
- Respond promptly to customer inquiries.
- Handle and resolve customer complaints.
- Obtain and evaluate all relevant information to handle inquiries and complaints.
- Process orders, forms, applications, and requests.
- Keep records of customer interactions and transactions.
Education
MBA - IT & Finance
Swami Vivekanand Subharti University
Merrut (Distance)08.2023
PGDB - Banking And Finance
Manipal Academy of Higher Education
Bengaluru, India09.2018
BE - Mechanical Engineering
Birla Institute of Technology
Ranchi, India10.2016
Skills
- Compliance Monitoring
- Document Review
- Auditing processes
- Internal Audits
- Regulatory knowledge
- Compliance reviews
- Policy analysis
- Risk Management
- Sanctions compliance
- Anti-Money Laundering
- Compliance Reporting
- Risk Mitigation
- Risk Assessment
- Operations Management
- Transaction Monitoring
- STR filing
- Excel
Accomplishments
- Star Award for best manager in PAN India for IDFC Bank.
- Best KYC Analyst in PAN India for ICICI Bank.
- Certified AML-KYC Compliance Officer By Vskills.
Certification
- Open-source intelligence (OSINT) by Basel Institute on Governance.
- Enhancing Financial Inclusion with a Risk-Based Approach by ACAMS.
- Financial Risk Analytics by Great Learling
- Cyber Risk Management by IDFC First Bank
Timeline
Compliance Officer
SingX Cross Border Solutions
2022.06 - Current
Risk
HDFC Bank
2021.10 - 2022.03
Risk and Compliance Manager
IDFC First Bank
2020.09 - 2021.10
Compliance Officer
ICICI Bank
2018.10 - 2020.09
Practitioner-CRM Operations
Concentrix
2016.07 - 2016.10
MBA - IT & Finance
Swami Vivekanand Subharti University
PGDB - Banking And Finance
Manipal Academy of Higher Education
BE - Mechanical Engineering
Birla Institute of Technology
- Open-source intelligence (OSINT) by Basel Institute on Governance.
- Enhancing Financial Inclusion with a Risk-Based Approach by ACAMS.
- Financial Risk Analytics by Great Learling
- Cyber Risk Management by IDFC First Bank
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